Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James & Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Lewis Harold Rogers | 402843 | 1 | 11/02/2016 | Customer Dispute | Award / Judgment | $917,000.00 | $0.00 | See FINRA Report |
| Stephen Paul Solverson | 5295592 | 1 | 11/01/2016 | Customer Dispute | Closed-No Action | $7,539.00 | $0.00 | See FINRA Report |
| Stephen Maynard Martin | 5186624 | 1 | 10/24/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alan Miles Griffin | 853835 | 3 | 10/04/2016 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| George Edward Mathis | 4271854 | 3 | 08/17/2016 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Raymond Anthony Gutowski | 2572346 | 10 | 07/22/2016 | Customer Dispute | Settled | $364,000.00 | $0.00 | See FINRA Report |
| Laura Anne Sullivan | 2208920 | 3 | 07/22/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig Hampton Decker | 2697472 | 2 | 07/20/2016 | Customer Dispute | Settled | $182,624.00 | $0.00 | See FINRA Report |
| William Howard Keaton | 2467121 | 1 | 07/20/2016 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Richard Earl Palmer | 2732044 | 2 | 07/13/2016 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |